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RFA # 1306271049

New York State Department of Health

Division of Chronic Disease Prevention Bureau of Tobacco Control

Request for Applications

Health Systems for a Tobacco-Free NY

KEY DATES

RFA Release Date: October 9, 2013

Questions Due: October 18, 2013

Questions & Answers and RFA Updates Posted on or about:

November 1, 2013

Applications Due: Date: November 22, 2013 Time: 4:00 p.m.

DOH Contact Name & Address: Debbie Spinosa NYS Bureau of Tobacco Control Room 1055, Corning Tower Building Empire State Plaza Albany NY 12237 TCP@health.ny.gov

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Table of Contents I. Introduction............................................................................................................................. 3 II. Who May Apply ..................................................................................................................... 8 III. Project Narrative/ Work Plan Outcomes............................................................................ 10 IV. Administrative Requirements ............................................................................................ 18

A. Issuing Agency.................................................................................................................. 18 B. Question and Answer Phase.............................................................................................. 18 C. Letter of Interest (optional)............................................................................................... 19 D. Applicant Conference ....................................................................................................... 19 E. How to file an application................................................................................................. 19 F. Department of Health’s Reserved Rights ......................................................................... 19 G. Term of Contract............................................................................................................... 21 H. Payment & Reporting Requirements of Grant Awardees................................................. 21 I. Limits on Administrative Expenses and Executive Compensation .................................. 22 J. Vendor Identification Number.......................................................................................... 22 K. Vendor Responsibility Questionnaire ............................................................................... 23 L. Vendor Prequalification for Not-for-Profits ..................................................................... 23 M. General Specifications ...................................................................................................... 24

V. Completing the Application.................................................................................................. 24 A. Application Content .......................................................................................................... 24 B. Application Format ........................................................................................................... 27

VI. Attachments ....................................................................................................................... 29

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I. Introduction

The New York State Department of Health (Department) Bureau of Tobacco Control (BTC) seeks applications from organizations that will work to engage health care systems to improve the delivery of guideline-concordant care for tobacco dependence through systems and policy change at the organizational level. A systems approach is consistent with the Centers for Disease Control (CDC) Health Impact Pyramid (Frieden, 2010) and interventions that have broader population effect and require lower individual level effort. Health care organizations that serve disproportionately affected populations (low income, low educational attainment, and serious mental illness) are the priority focus for this contract. Health system interventions should result in expansion of the reach of evidence-based smoking cessation interventions without direct provision of those services. The focus is on working with higher level administrative decision-makers to ensure that the providers in the health systems they oversee deliver appropriate and aggressive tobacco dependence treatment to its members.

This Request for Applications (RFA) utilizes the evidence-based model for health systems change as documented in the Clinical Practice Guideline for Treating Tobacco Use and Dependence (Public Health Service Guideline) which can be found at: http://www.ahrq.gov/professionals/clinicians-providers/guidelinesrecommendations/tobacco/clinicians/update/treating_tobacco_use08.pdf The PHS Guideline recommendations for systems interventions should result in an increase in health care providers’ use of evidence-based tobacco dependence counseling and medication treatments with patients who use tobacco and higher rates of cessation. It should also make effective treatments more widely available in health systems that serve disparate populations. Recommended system-level strategies from the PHS Guideline (See Chapter 5 of the 2008 update) which are the focus of this procurement include PHS Guideline: Systems Strategy 1 implementation of tobacco user screening systems integrated into electronic medical records; Systems Strategy 2 - system-level provision of training, cessation resources and materials, and feedback to providers that promotes effective intervention; Systems Strategy 3 - having a dedicated tobacco dependence treatment coordinator with clearly delineated responsibilities ensuring that evidence-based treatment is provided and clear communications with staff are maintained; and Systems Strategy 5 - ensuring that effective treatments (medication and counseling) are covered benefits. Systems Strategy 4, related to tobacco dependence treatment provided in hospital settings, is not a focus of this RFA. The focus will be on instituting these interventions in health care systems that serve patients with low income and low educational attainment and those with serious mental illness.

Funded contractors will maximize the impact of tobacco dependence treatment by working with targeted health care provider organizations to formally incorporate these strategies into their standard policies and procedures. Targeted systems include, but are not limited to, organizations such as community health centers (CHCs), Federally Qualified Health Centers (FQHCs), and mental health/behavioral health service organizations. Other health care provider organizations that primarily serve the targeted populations qualify. Focusing on system and policy-level improvements in tobacco dependence treatment for disproportionately affected groups supports the Department goal of achieving the maximum reduction in adult tobacco use statewide.

The anticipated total funding for this initiative, pending availability of funds, is just over $15.5 million for 11 contracts (10 regional; one statewide) over a projected four-year and nine-month

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http://www.ahrq.gov/professionals/clinicians-providers/guidelines-recommendations/tobacco/clinicians/update/treating_tobacco_use08.pdfhttp://www.ahrq.gov/professionals/clinicians-providers/guidelines-recommendations/tobacco/clinicians/update/treating_tobacco_use08.pdf

contract period. Annual funding amounts for 10 regional contracts are expected to be up to $300,000 per contract; one statewide contract is expected to be funded up to $275,000. The statewide contract awardee will NOT hold a regional contract. The anticipated contract start date is July 1, 2014 with an end date of March 31, 2019. A multi-year contract will cover the entire four-year and nine-month timeframe, however applicants will submit two workplans and two budgets. One workplan and budget will cover activities and expenditures for the initial nine-month period from 7/1/2014 to 3/31/2015. A second workplan and budget will represent typical annual activities and expenditures that are planned for periods beginning 4/1/2015 and ending 3/31/2019. Under this Request for Applications (RFA), the Department seeks applications for the components described below.

A. Description of Program

Component A:

The Department anticipates contracting with 10 regional Health Systems for a Tobacco-Free NY contractors (Component A). Annual funding amounts are expected to be up to $300,000 per award. Component A contractors will focus on implementing PHS Guideline system strategies 1 (screening systems), 2 (training, resources and feedback), and 3 (dedicated staffing plan), as outlined above. The work of the funded contractors will emphasize the advancement of organizational systems that address tobacco dependence among disproportionately affected population groups. Successful outcomes will result in clinicians and health care delivery systems consistently identifying and documenting tobacco use status and treating every tobacco user seen in a health care setting; offering every patient who uses tobacco at least the brief treatments shown to be effective in the Guideline; encouraging all individuals making a quit attempt to use both counseling and medication; incorporating “clinician extender” strategies such as Quitline referrals into a tobacco dependence treatment system; requiring tobacco-dependence treatment as a defined duty of clinicians to ensure counseling and medications are systematically provided and their provision documented; and offering on-going provider education and feedback to encourage clinicians to address tobacco use and effectively assist patients with quitting.

Contractors will target organizations within their catchment areas that serve disparate population groups including patients with low income and low educational attainment and those with serious mental illness. At a minimum, contractors will work with FQHCs CHCs, and other organizations serving these targeted groups within their catchment area.

Component B:

The Department anticipates contracting with one contractor who will provide statewide expertise working collaboratively with and serving as a “Center for Excellence” in tobacco dependence treatment health systems policy and environmental change (Component B) for the 10 regional health systems contractors funded under Component A, state-level organizations, and other statewide stakeholders. The Component B contractor is expected to be funded up to $275,000 for each period of the four-year, nine-month contract to develop and facilitate coordination of guidance and protocols for instituting and enhancing delivery of effective tobacco dependence treatment. Work will focus on PHS Guideline systems strategy 5 (coverage of evidence-based treatments are made widely available) while assisting Component A contractors to realize their efforts with system strategies 1 (screening systems), 2 (training, resources and feedback), and 3 (dedicated staff). The contractor may conduct projects and interventions with statewide

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stakeholder organizations and also be responsible for developing tools and training resources for health care provider organizations to utilize when implementing health systems, protocols and policy changes.

Components A and B:

The overall purpose of both Components A and B is to implement strategies to assist health care provider organizations with instituting system level tobacco dependence treatment policies that will lead to the following population-level outcomes:

• Increase the percentage of adult smokers who were assisted in quitting smoking by a health care professional with evidence-based tobacco dependence treatment.

• Increase the number of health care organizations that provide and require tobacco use screening systems for all their networks.

o Screening systems should cue providers to 1) inquire about the smoking status of every patient at every visit (“Ask”), 2) advise patients to make a quit attempt (“Advise”), and 3) provide effective tobacco dependence treatment in the form of medication and/or counseling and follow-up at the time of the visit (“Assist”).

• Increase the number of health care organizations that provide tobacco dependence provider training, cessation resources, and feedback to all providers regarding their compliance with tobacco use screening and treatment.

• Increase the number of health care plans that provide effective tobacco dependence treatments to all subscribers who use tobacco products.

• Reduce the prevalence of adult smoking among individuals of low socioeconomic status, as measured by those with low incomes and low educational attainment.

• Reduce the prevalence of adult smoking among individuals with serious mental illness (SMI) and substance use disorders.

• Increase the number of Medicaid recipients who utilize the tobacco cessation benefit. • Increase the number of FQHCs, CHCs and behavioral health organizations and similar

organizations with written tobacco dependence treatment policies consistent with these outcomes.

B. Background

Preventing tobacco use is one of the most important public health actions that can be taken to improve the health of New Yorkers, as tobacco use is the leading preventable cause of morbidity and mortality. Each year, approximately 25,500 New Yorkers die prematurely as a result of smoking. More than half a million New Yorkers currently suffer from serious diseases caused or exacerbated by tobacco use. Smoking is a major cause of multiple cancers, of heart disease and stroke, and is the leading cause of chronic obstructive pulmonary disease (COPD), which includes chronic bronchitis and emphysema. The toll of tobacco use is disproportionately higher among people with less than a high school education, those earning less than $15,000 per year, and individuals who reportedly have poor mental health. These groups have higher smoking rates and greater exposure to secondhand smoke and, as a result, suffer more illness, disease and death.

Youth are vulnerable to experimenting with tobacco and the vast majority of adult smokers began smoking when they were teens. In 2012, 11.9% of high school students, which is equivalent to 107,000 students in New York, reported smoking at least one day in the past 30

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days. Among adults who become daily smokers, nearly all first use of cigarettes occurs by 18 years of age, with 99% of first use by 26 years of age.

Exposure to secondhand smoke is a significant cause of illness and death, causing an estimated 50,000 premature deaths in the United States (U.Ss) each year. Between 150,000 and 300,000 lower respiratory tract infections are diagnosed in infants and children less than 18 months of age in the U.S. each year. Exposure to secondhand smoke also is responsible for aggravating asthma symptoms in nearly one million children in the U.S. every year.

In addition to the high personal and social toll associated with tobacco use, the financial costs are also high, in part because they lead to higher rates of many chronic diseases. Each year in New York State, $8.17 billion can be attributed to medical expenditures for smoking. Those costs increase when health care expenditures caused by exposure to secondhand smoke, smokeless tobacco use, cigar and pipe smoking, smoking-related fires, and lost productivity are included.

The Department envisions all New Yorkers living in a tobacco-free society. BTC’s mission is to reduce morbidity and mortality and the social and economic burden caused by tobacco use. Evidence-based tobacco control programs and policy interventions can reduce this burden. The goals of BTC’s comprehensive tobacco control program are to prevent the initiation of tobacco use, promote tobacco use cessation, and eliminate exposure to secondhand smoke. Disproportionately affected groups, including individuals with low socioeconomic status (low income and low education) and those with poor mental health, are the BTC’s primary focus.

To achieve the vision of all New Yorkers living in a tobacco-free society, BTC administers a comprehensive tobacco control program built on evidence-based interventions that are population-based and focused on policy and systems change. The components of BTC’s comprehensive program include tobacco-free communities, health systems for a tobacco-free NY, cessation support and services and public health communications (media).

Tobacco-Free Communities

Contractors working on advancing tobacco-free communities will foster environments that support policies and interventions that reinforce the tobacco-free norm. Rather than directly adopting tobacco control policies, contractors accomplish this by implementing a coordinated set of evidence-based strategies to build public, political and organizational support for tobacco control policies. By effectively educating and mobilizing the public and educating government and organizational policy makers, communities become receptive to or even demand strong tobacco control policies. Tobacco-Free Communities contractors carrying out this work are comprised of adults and youth dedicated to promoting a healthy, tobacco-free norm.

Tobacco-Free Communities contractors advance the tobacco-free norms in places where New Yorkers live, work and play. Contractors work to implement changes in tobacco marketing, a known cause of youth smoking. Much of this marketing occurs at the point of sale (POS) in the retail environment and may be largely unnoticed by non-smoking adults. However, youth are particularly aware and observant of POS marketing. POS changes may include display restrictions in the retail environment; reducing the number, type and/or location of tobacco retailers; and restricting discount tobacco sales. Tobacco-free outdoor policy change has resulted in tobacco-free public parks, beaches, playgrounds, clubs, college campuses, and the outdoor areas and entryways of businesses throughout New York State. Tobacco-Free Communities

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contractors also work to protect the health of NYS residents by increasing the availability of smoke-free multi-unit housing throughout the state by assisting public housing authorities, nonprofit community development corporations and market rate apartment management companies to adopt no-smoking policies in their communities. Contractors have been successful in promoting initiatives to strengthen clean indoor air laws, product placement laws, and youth access laws and penalties. Tobacco-Free Communities contractors implement multimedia campaigns, community events and other strategies to inform, educate, engage and empower the general population to decrease the social acceptability of tobacco use.

Tobacco-Free Communities contractors regularly engage middle and high school aged youth from diverse economic and cultural backgrounds to work to change community norms regarding tobacco use through activities aimed at deglamorizing and denormalizing tobacco use in their communities. Through civic engagement, youth program initiatives include community education linked to social action, media advocacy, media and community events, and advocacy with organizational decision makers to advance tobacco-free norms through policy change.

Health Systems for a Tobacco-Free NY

Health Systems contractors emphasize the advancement of organizational change addressing tobacco dependence from a systems and organizational perspective. PHS Clinical Practice Guideline for Treating Tobacco Use and Dependence describes systems change as including but not limited to 1) implementation of tobacco user screening systems, 2) health system networks that provide education, resources, and quality improvement feedback that promotes provider intervention for tobacco dependence, 3) dedicated tobacco dependence treatment coordinator ensuring that evidence-based treatment is provided in a timely way and clear communications with staff are maintained and 4) evidence-based tobacco dependence treatments (medication and counseling) are universally-covered benefits by health plans.

Health Systems contractors established by this RFA will work with health care systems that address tobacco use primarily among disproportionately affected populations including people with low incomes, low educational attainment, and poor mental health, by supporting the health systems change efforts described.

By successfully deploying tobacco dependence treatment systems, Health Systems contractors ensure that every patient at every visit is screened for tobacco use, that tobacco use is documented, and that evidence-based assistance is provided at the time of the visit. Tobacco dependence treatment systems cue providers to assess patients and educate them about available interventions. They also ensure that providers have sufficient training in evidence-based tobacco dependence treatment, cessation resources are provided to patient and provider, and providers receive accurate feedback about their tobacco dependence treatment practices. This type of feedback results in improved delivery of care. Dedicated staff providing guideline-concordant tobacco dependence treatment ensures that aggressive evidence-based treatment is provided in a timely way. Health Systems contractors work to ensure that comprehensive coverage of effective tobacco dependence treatments are widely available. Smoking cessation benefits will be promoted by health systems and their providers to increase utilization rates, and any barriers to utilizing the benefits will be removed.

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Cessation Support and Services

The BTC funds the New York State Smokers’ Quitline, which provides cessation coaching, information and referral services to New York State residents who call the toll-free number 1866-NY-QUITS (1-866-697-8487) or visit the Quitline website at www.nysmokefree.com. The Quitline also provides individual cessation services and information to employers and health care providers as part of the BTC’s population-based, systems change model.

Public Health Communications (Media)

Paid and earned media coverage of tobacco prevention and control events support the BTC, state and community partner efforts to advance tobacco control by educating the community and key community leaders and keeping the tobacco problem on the public’s agenda. BTC contractors use television, radio, billboard, print advertising, and social media to expose tobacco industry marketing tactics, deglamorize tobacco use and promote effective tobacco control community policies. An independent evaluator determined from pre-testing of advertisements and research that high-sensation ads have a greater impact on viewers, promote quitting among all smokers, and increase calls to the Quitline. Counter-marketing efforts seek to expose the promotional strategies employed by the tobacco industry, deglamorize tobacco use, and build and sustain anti-industry community sentiment. Counter-marketing efforts support local activities as part of a statewide initiative, reinforce and enhance partner actions and messages at the local level, and provide support for partner community education efforts.

Other BTC Components

BTC contracts with organizations with expertise in policy, training, and research and evaluation. A policy center works with BTC and its contractors to support the adoption of evidence-based policies that reduce tobacco-related morbidity and mortality. A training agency delivers customized trainings to BTC contractors and staff, providing a wide range of training topics to fit contractors’ needs and to deepen contractors’ understanding and application of the evolving strategies that create effective policy change. BTC supports an internal surveillance and evaluation team and, as required by statute, contracts with an independent evaluator. From its inception, BTC has utilized proven strategies and has adhered to general evaluation guidelines for tobacco control programs. Ongoing surveillance and evaluation activities monitor program progress and impact and ensure that the BTC is investing resources wisely, making progress toward specified goals, and undertaking program improvements as necessary.

II.Who May Apply

Eligible applicants for this RFA include public and private not-for-profit agencies and organizations in New York State, including but not limited to: local government and public health agencies, health care systems, primary care networks, academic institutions, community-based organizations, volunteer associations and professional associations with experience in health systems level change to improve quality of care. Experience working with low income and low educational attainment populations and with individuals with serious mental illness is expected. Proof of not-for-profit status with the Internal Revenue Service should be included as an attachment.

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http:www.nysmokefree.com

Agencies may apply to serve more than one catchment area in Component A. However, a separate application must be submitted for each catchment area. A single application for more than one catchment area will be rejected. If an applicant receives an award for more than one catchment area, the applicant will receive one contract, with separate and distinct workplans and budgets for each catchment area. Any applicants that receive an award for more than one catchment area will comply with all specifications of each area individually, including separate and distinct staffing levels, deliverables, and any other specifications required for this project.

Organizations may apply for either Component A or Component B, but not both. For the purposes of this procurement, organizations are distinguished by their NYS Vendor ID#.

The applicant is responsible for implementing the work described in the Request for Applications (RFA). All core (required) personnel must be employed by the applicant and cannot be subcontracted. Applicants may subcontract components of the scope of work (e.g., evaluation, media, and information technology), but it is required that the applicant retain a majority of the work in dollar value (more than 50%) of the contract within the applicant organization. Applicants that propose to subcontract should identify subcontracting agencies, if known, during the application process. Applicants that plan to subcontract should state in the application which components of the work plan will be performed through a subcontract. Applicants should note that the lead organization (contractor) will have overall responsibility for all contract activities, including those performed by subcontractors, and will be the primary contact for the Department. Major components of the work plan cannot be subcontracted.

Eligible applicants are required to have a written policy prohibiting any affiliation with a tobacco company or tobacco product manufacturer including receipt of gifts, grants, contracts, financial support and in-kind support and other relationships. Applicants will ensure that no subcontractors receiving funding through this award have any affiliation with a tobacco company or tobacco product manufacturer (Attachment 9).

Catchment areas define the geographic area in which health systems change activities will occur. The catchment area to be served is to be clearly defined on the cover page of the RFA. Organizations may apply to serve the catchment areas listed below.

Component A Catchment Areas and Estimated Funding:

Region Defined Regional Catchment Area Maximum

Annual Funding

Budget Period 1:

7/1/143/31/15

Annual Budget

Period 25: 4/1/153/31/19

Metro North New York, Bronx, Queens $300,000 $225,000 $300,000 Metro South Kings, Richmond $300,000 $225,000 $300,000 Long Island Nassau, Suffolk $300,000 $225,000 $300,000 Hudson Valley Putnam, Orange, Rockland,

Westchester, Dutchess, Sullivan, Ulster $300,000 $225,000 $300,000

North Country Clinton, Essex, Franklin, Hamilton, Fulton, Montgomery, Saratoga, Warren, Washington $300,000 $225,000 $300,000

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Capital Columbia, Delaware, Greene, Albany, Otsego, Rensselaer, Schenectady, Schoharie $300,000 $225,000 $300,000

South Central Broome, Chenango, Cortland, Tioga, Tompkins $300,000 $225,000 $300,000

North Central Madison, Herkimer, Oneida, Cayuga, Oswego, Onondaga, Jefferson, Lewis, St. Lawrence $300,000 $225,000 $300,000

Western Erie, Genesee, Niagara, Orleans, Allegany, Cattaraugus, Chautauqua, Wyoming $300,000 $225,000 $300,000

Finger Lakes Livingston, Monroe, Ontario, Seneca, Wayne, Schuyler, Steuben, Yates, Chemung $300,000 $225,000 $300,000

Component B:

The Component B contractor is considered a statewide contractor and will work collaboratively with the 10 regional health systems contractors funded under Component A. The Component B contractor is expected to be funded up to $275,000 on an annual basis. There will be a multiyear contract developed for the entire four-year, nine-month period. For the first nine-month budget period from 7/1/14 to 3/31/15, the expected budget is $206,250. For each 12-month period from 4/1/2015 to 3/31/2019, the expected budget is $275,000. Initial awards and funding levels throughout the four-year, nine-month contract term are contingent upon approved state budget appropriations and available funding.

III. Project Narrative/ Work Plan Outcomes

Component A

Component A contractors will facilitate health systems change with community health centers, FQHCs, mental health and behavioral health service organizations and similar organizations that serve disproportionately affected populations (low education, low income, and seriously mentally ill) within the contractor’s catchment area. The Health Systems for a Tobacco-Free NY contractors will work to establish tobacco dependence treatment systems change consistent with the PHS Guideline.

Component A applicants for all catchment areas will include all required deliverables in their application. Health systems change deliverables and the approximate percentage of effort for each deliverable is summarized below:

1. Medical Health Care Systems and Policy Change 40% - 45% 2. Mental Health Care Systems and Policy Change 40% - 45% 3. Local Level Disparity Project (Optional) 0% - 5% 4. Direct Cessation Services (Optional) 0% - 5% 5. Sustainability 10%

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1. Medical Health Care Systems and Policy Change

Medical health care systems and policy change refers to the implementation of strategies that will positively influence the medical health care system in a way that improves the delivery of tobacco dependence guideline-concordant care, especially for providers who serve low income and low education populations. The types of organizations that qualify include FQHCs and FQHC “look-alikes,” and other health care organizations that serve populations of lower socioeconomic status. The greatest percentage of effort of Health Systems Component A contractors’ work will focus on advocating with and assisting health care organization administrators with establishing/adopting system-level policies and procedures that improve tobacco dependence treatment as recommended in the PHS Guideline (See Strategies 1 (screening systems), 2 (training, resources, and provider feedback), and 3 (dedicated staff) in Chapter 5 of the PHS Guideline, 2008 Update).

Component A contractors will expend 40% to 45% effort employing the strategies listed below.

a. Contractors will conduct a thorough search for health care organizations in their catchment area who oversee the health care of lower socioeconomic status clients. Contractors should identify the health systems policies and procedures for tobacco dependence treatment currently provided by these organizations/plans. The organizations and policies will be high level and not direct service providers. For example, working with FQHCs would be appropriate but working directly with its satellite clinics would not. The “parent” health care organization should disseminate new policies and procedures to its satellite clinics.

b. Contractors will obtain administrative commitment from each health care organization with which it intends to work. An official relationship, as evidenced by a Memorandum of Understanding (MOU), would be preferred to an informal relationship.

c. Contractors will provide technical assistance, content expertise, and professional guidance to the health care organization in the adoption and dissemination of tobacco dependence health systems strategies in accordance with PHS Guideline. Technical assistance may come in the form of education on the continuing burden of tobacco use especially for those with low education and low income; the need for and specifics of guideline-concordant tobacco dependence treatment; and the relationship between effective provider assistance and smoking cessation success.

d. Contractors will work with health care organizations to adopt the PHS Guideline health system initiatives including tobacco use screening systems, a formal tobacco dependence treatment provider training plan, provision of cessation resource materials, and methods for implementing a quality control feedback system that makes providers aware of their performance on a regular basis. The importance of dedicated tobacco staff ensuring guideline-concordant care is conducted in a timely way will be communicated. Contractors will provide technical assistance on how such systems should be incorporated into current practices and how the new practices can best be disseminated to clinics and providers.

e. Contractors will provide guidance on the content of electronic screening systems noting the recent movement towards ensuring “meaningful use” and its relevance to tobacco dependence treatment. Note that tobacco use screening systems that record only “ask” and “advise” and do not include cues, recording of “assistance provided”, or Quitline referrals are missing a key concept regarding timely provision of evidence-based quit “assistance.” This addition is critical to ensuring meaningful use of the tobacco use screening system.

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f. Contractors will obtain organizational commitment to advance the adoption of the desired policies and procedures assuring subsequent systems change. The commitment should include an implementation timeline and a communication plan to introduce the proposed systems change.

g. Funded contractors may dedicate up to 5% of the Deliverable 1 budget to a health communications campaign (paid media) for the purpose of targeting health care providers and increasing use of guideline-concordant care. Applicants purchasing local media will target health care clinicians to improve their awareness and understanding of tobacco dependence treatment among their priority populations, to increase awareness and utilization of the NYS Medicaid tobacco cessation benefit, or to increase awareness of other available cessation resources and/or the NYS Smokers’ Quitline.

h. Funded contractors may dedicate up to 1% of the Deliverable 1 budget to statewide collaborative conference calls, webinars, trainings, and supporting materials for the purpose of educating health care providers and increasing use of guideline-concordant care.

2. Mental Health Care Systems and Policy Change

Mental health care systems and policy change refers to the implementation of strategies that will positively influence the mental health care system in a way that improves the delivery of tobacco dependence guideline-concordant care, especially for providers who serve individuals with serious mental illness, a group that uses tobacco at inordinately high rates and suffers from greater rates of tobacco-related disease. This deliverable will focus on working with health care organizations in the catchment area that serve mentally ill populations. Contractors’ work will focus on advocating with and assisting mental health care organizations that serve the seriously mentally ill with establishing/adopting tobacco dependence treatment systems as recommended in the PHS Guidelines and considering the unique needs of individuals with serious mental illness.

Component A contractors will expend 40% to 45% effort employing the strategies listed below.

a. Contractors will conduct a thorough search for health care organizations in their catchment area who oversee the health care of individuals with serious mental illness. Contractors should identify the health systems policies and procedures for tobacco dependence treatment currently provided by these organizations/plans. The organizations and policies will be high level and not direct service providers.

b. Contractors will obtain administrative commitment from each health care organization with which it intends to work. An official relationship, as evidenced by an MOU, would be preferred to an informal relationship.

c. Contractors will provide technical assistance, content expertise, and professional guidance to the mental health care organization in the adoption and dissemination of tobacco dependence health systems strategies to individuals with severe mental illness and in accordance with PHS Guideline. Technical assistance may come in the form of education on the continuing burden of tobacco use among those with serious mental illness; the need for and specifics of guideline-concordant tobacco dependence treatment; and the relationship between effective provider assistance and smoking cessation success. It is critical for all parties to understand the need for more intensive treatments with potentially higher doses and longer durations of treatment, and the overall complexities of treating tobacco dependence in the seriously mentally ill.

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d. Contractors will work with mental health care organizations to adopt the PHS Guideline health system initiatives including tobacco use screening systems, a formal tobacco dependence treatment provider training plan, provision of cessation resource materials, and methods for implementing a quality control feedback system that makes providers aware of their performance on a regular basis. Contractors will provide technical assistance on how such systems should be incorporated into current practices and how the new practices can best be disseminated to clinics and providers.

e. Contractors will provide guidance on the content of electronic screening systems noting the recent movement towards ensuring “meaningful use” and its relevance to tobacco dependence treatment. Note that tobacco use screening systems that record only “ask” and “advise” and do not include cues, recording of “assistance provided,” or Quitline referrals are missing a key concept regarding timely provision of evidence-based quit “assistance.” This addition is critical to ensuring meaningful use of the tobacco use screening system.

f. Contractors will obtain organizational commitment to advance the adoption of the desired policies and procedures assuring subsequent systems change. The commitment should include an implementation timeline and a communication plan to introduce the proposed systems change.

3. Local Level Disparity Project (Optional)

In addition to the required activities, contractors may dedicate up to 5% of the total contract budget toward a special project that addresses health systems change within their catchment area for a unique population or organization that serves the needs of individuals with low income, low educational attainment, or serious mental illness. This project should address the same health systems change activities noted above including screening systems, resources, ensuring coverage and availability of guideline-concordant care (medication and counseling), and dedicated staffing for tobacco dependence treatment. The optional local level disparity project requires Department approval before work begins.

4. Direct Cessation Services (Optional)

The contractor may dedicate up to 5% of the total contract budget toward direct cessation services in the form of nicotine replacement therapies (NRT) under certain conditions. NRT can only be made available to the disparate populations noted in this RFA; that is individuals with low incomes, low educational attainment, and/or individuals with serious mental illness. The purpose of providing NRT should be to incentivize target organizations to work with the contractor using the strategies listed for Deliverables 1 and 2. Any direct cessation services provided will be strategically implemented to support the delivery of tobacco dependence treatment within the health care system; services will be evidence-based and consistent with the PHS Guidelines.

5. Sustainability

“Sustainability” refers to the thoughtful implementation of a set of strategic activities designed to maintain ongoing program services and ensure the institutionalization of implemented activities. These activities will increase local and state decision-maker awareness of population-based

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tobacco control strategies; improve recognition of the importance of tobacco control strategies; demonstrate success in preventing and reducing tobacco use; and highlight the burden of tobacco use in NYS. The purpose of sustainability activities is to strengthen support for tobacco control public health efforts and to ensure that policy, systems, and environmental changes become the norm.

The Component A organizations funded as a result of this RFA will expend 10% of their effort to implement the following sustainability activities:

1. Write letters to the editor and opinion pieces for local papers discussing tobacco control and health systems change activity issues.

2. Communicate monthly with elected leaders and decision-makers to keep them informed about tobacco control policy, systems and environmental change initiatives in NYS.

3. Conduct one legislative office visit annually to educate legislators about health systems change activities.

4. Build relationships with news reporters and media personalities to disseminate tobacco control policy, systems, and environmental change messages and information.

As a result of these strategies, local and state decision-makers should be educated about the magnitude of tobacco use, effective actions to address the burden of these behaviors, the unmet need for addressing these issues in counties across New York State, and the importance of maintaining the policy, systems, and environmental changes that have occurred as a result of activities funded under this RFA.

Component B

The Component B statewide contractor will serve as a “Center of Excellence” for the adoption of tobacco dependence treatment health systems and will focus its efforts on two sets of consumers. First, the Component B contractor will serve as a resource to all Component A contractors in their effort to work regionally with health care systems and organizations. The Component B contractor will develop materials, manuals, protocols and other products designed to assist Component A contractors in promoting the adoption of the tobacco dependence treatment health system change with disparately affected groups.

Second, the Component B contractor will work with statewide entities to promote large scale systems and policy change and improve health systems delivery of tobacco dependence treatment through efforts with statewide health systems and other statewide stakeholders.

The statewide contractor will not have an award for Component A. This contractor will have at least 1.0 FTE coordinator who works with state-level organizations to develop and facilitate coordination of statewide guidance, protocols, and systems for tobacco dependence treatment.

Applicants for Component B should include all deliverables in their application. Deliverables and the approximate percentage of effort are summarized below:

1) Regional Support of Health Systems Change 40%-50% 2) Statewide Support of Health Systems Change 40%-50% 3) Sustainability 5%-10%

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1. Regional Support of Health Systems Change

The Component B contractor will serve as a resource for information and expertise and develop resources, products, and other materials designed to assist the Component A contractors in promoting the adoption of the PHS Guideline health system change strategies regionally. Guidance and/or training will be provided to the regional contractors on how to use products and resources when advocating with health care provider organization administrators or assisting with clinical health systems change implementation. This contractor should serve as an “expert” to the regional contractors in promoting health systems change, especially for the targeted populations.

2. Statewide Support of Health Systems Change

The Component B contractor will work statewide to improve health systems delivery of tobacco dependence treatment through efforts with statewide health systems and other statewide stakeholders. Work will focus on increasing availability and coverage of evidence-based treatments and large scale health systems policy and environment changes that facilitate Component A contractors’ work. The contractor may conduct projects and interventions with statewide stakeholders and organizations.

The Component B contractor will foster relationships with statewide stakeholders and organizations (e.g. NYS Office of Mental Health, NYS Office of Alcohol & Substance Abuse Services, NYS-based Medicaid Managed Care Plans, Community Health Care Association of NYS, Regional & Statewide Health Information Organizations, electronic health record vendors) to eliminate barriers to accessing cessation treatments (counseling & medication); promote and increase utilization of cessation counseling and medication health plan benefits, enhance electronic health record (EHR) systems to include comprehensive tobacco dependence treatment (questions, prompts, referrals, and resources), and other high level systems change interventions that result in increased health care provider use of evidence-based tobacco dependence counseling and medication treatments with patients who use tobacco.

The Component B contractor will participate in a collaborative workgroup consisting of the Office of Mental Health (OMH), Department of Health, and other stakeholders to promote a tobacco-free environment in OMH facilities. This group’s goal is to address tobacco use and dependence and promote sustainable tobacco-free norms within treatment settings serving the serious mentally ill. The specifics of involvement with this group will be determined in discussion with the group itself but the role of the contractor will be consistent with the systems approach described in this RFA.

3. Sustainability

“Sustainability” refers to the thoughtful implementation of a set of strategic activities designed to maintain ongoing program services and ensure the institutionalization of implemented activities. These activities will increase local and state decision-maker awareness of population-based tobacco control strategies; improve recognition of the importance of tobacco control strategies; demonstrate success in preventing and reducing tobacco use; and highlight the burden of tobacco use in NYS. The purpose of sustainability activities is to strengthen support for tobacco control public health efforts and to ensure that policy, systems, and environmental changes become the norm.

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The Component B organization funded as a result of this RFA will implement the following sustainability activities:

1. Write letters to the editor and opinion pieces for local papers discussing tobacco control and health systems change activity issues.

2. Communicate monthly with elected leaders and decision-makers to keep them informed about tobacco control policy, systems and environmental change initiatives in NYS.

3. Conduct one legislative office visit annually to educate legislators about health systems change activities.

4. Build relationships with news reporters and media personalities to disseminate tobacco control policy, systems, and environmental change messages and information.

As a result of these strategies local and state decision-makers should be educated about the magnitude of tobacco use, effective actions to address the burden of these behaviors, the unmet need for addressing these issues in counties across NYS, and the importance of maintaining the policy, systems, and environmental changes that have occurred as a result of activities funded under this RFA.

Additional Requirements – Components A and B

1. Administrative Capacity and Responsibilities

The funded organization is responsible for: 1. Implementing the project; 2. Ensuring all program deliverables are met; 3. Reviewing and approving work plan modifications before submission to the Department; 4. Providing budget support to the project and demonstrating capacity to expeditiously

process budget and purchasing requests in order to facilitate the smooth operation of the contract;

5. Providing a timely start-up of grant-funded activities including filling vacant staff positions in a timely manner;

6. Submitting all required documents on time, submitting claims for payment in accordance with the contract, and administering all fiscal requirements of the contract in a timely and efficient manner.

2. Staffing

The funded organization will:

1. Provide qualified staff in sufficient numbers to carry out the deliverables of this RFA. The contractor will use grant funds to support a minimum of one full-time Project Coordinator position responsible for building, coordinating and guiding the project in meeting the deliverables of the grant. This person will be the primary contact with the Department staff and will be expected to attend all trainings and meetings convened by the department. In addition, this person should have a function within the funded agency that reflects professional and leadership status.

2. Provide staff with knowledge and skills in: program development; professional

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development; coordination and management; fiscal management; cultural competency; advocacy; public relations; public health policy, including analysis, development and implementation; training and technical assistance; strategic planning; gathering and analyzing data; and evaluation methods. Provide salaries that are commensurate with the level of education and experience required for the position.

3. Notify the Department if a vacancy occurs (resignation, maternity leave, medical leave, etc.), and ensure programmatic work is being completed.

4. Provide a sufficient staffing pattern to manage the project and provide information to demonstrate that management staff is at a level within the agency to affect decision making.

3. Staff Orientation, Training, Supervision and Program Support

Contractors are required to support contract staff by providing the following: proper orientation to the organization’s policies and procedures; appropriate budgeting for the program’s transportation needs; fiscal and budget management support; timely processing of purchase and subcontracting requests; appropriate administrative support; current computer system with access to an individual e-mail account and internet connection; and office and meeting space. In addition to regular travel within the catchment area, frequent travel to Albany as described below is required.

4. Community Partners

Component A contract staff should actively collaborate with their local tobacco control community contractors and other local tobacco control partners in achieving local and regional tobacco control goals. Component B contract staff should actively collaborate with state tobacco control stakeholders including health care organizations and other tobacco control partners in achieving local, regional, and statewide tobacco control goals.

5. Meetings and Trainings

The project coordinators for Component A and Component B will be required to attend and participate in all regional, modality and statewide meetings, and attend required trainings. Successful applicants should plan on approximately 6 trips to the Albany area for meetings and trainings annually.

6. Evaluation

Component A and B contractors will not be conducting their own evaluation projects for this RFA. However, all contractors will cooperate with the Department’s Independent Evaluation contractor and the Department’s internal evaluation staff on data collection and evaluation activities. At a minimum, all contractors will utilize the Department’s web-based contractor monitoring system for regular activity monitoring and reporting of progress towards objectives. Training for the contractor monitoring system will be provided.

Health Systems Change Outcomes

Applicants for both Components A and B will implement strategies to assist health care provider organizations with instituting tobacco dependence treatment systems change that will lead to the

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following outcomes:

a. Increase the percentage of adult smokers who were assisted in quitting smoking by a health care professional.

b. Reduce the prevalence of adult smoking among individuals of low socioeconomic status, as measured by those with less than a high school education.

c. Reduce the prevalence of adult smoking among individuals with serious mental illnesses (SMI).

d. Reduce the prevalence of adult smoking among individuals with substance use disorders. e. Increase the number of Medicaid recipients who utilize tobacco cessation benefits. f. Increase the number of FQHCs, CHCs and behavioral health organizations with written

tobacco dependence treatment policies.

IV. Administrative Requirements

A. Issuing Agency

This RFA is issued by the New York State Department of Health (Department) Bureau of Tobacco Control (BTC). The Department is responsible for the requirements specified herein and for the evaluation of all applications.

B. Question and Answer Phase

All substantive questions must be submitted in writing to:

Stephanie Sheehan NYS Bureau of Tobacco Control Room 1055, Corning Tower Building Empire State Plaza Albany NY 12237 TCP@health.ny.gov

Emails should cite the RFA number provided on the cover of this RFA in the subject line of the email. The RFA number should be included on all written correspondence. To the degree possible, each inquiry should cite the section and paragraph to which it refers. Written questions will be accepted until the date posted on the cover of this RFA.

Questions of a technical nature can be addressed in writing, by e-mail or via telephone by calling

Debbie Spinosa NYS Bureau of Tobacco Control 518-474-1515 TCP@health.ny.gov

Questions are of a technical nature if they are limited to how to prepare your application (e.g., formatting) rather than relating to the substance of the application.

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mailto:TCP@health.ny.govmailto:TCP@health.ny.gov

Prospective applicants should note that all clarifications and exceptions, including those relating to the terms and conditions of the contract, are to be raised prior to the submission of an application.

This RFA has been posted on the Department's public website at: http://www.health.ny.gov/funding/. Questions and answers, as well as any updates and/or modifications, will also be posted on the Department's website. All such updates will be posted by the date identified on the cover sheet of this RFA.

C. Letter of Interest (optional)

If prospective applicants would like to receive notification when updates/modifications are posted (including responses to written questions), please complete and submit a letter of interest (see Attachment 2). Prospective applicants may also use the letter of interest to request actual (hard copy) documents containing updated information.

Submission of a letter of intent/interest is not a requirement or obligation upon the applicant to submit an application in response to this RFA. Applications may be submitted without first having submitted a letter of intent/interest.

D. Applicant Conference

An applicant conference will not be held for this project.

E. How to file an application

Applications must be received at the following address by the date and time posted on the cover sheet of this RFA. Late applications will not be accepted *.

Debbie Spinosa NYS Bureau of Tobacco Control Room 1055, Corning Tower Building Empire State Plaza Albany NY 12237

Applicants shall submit one (1) original, signed application and five (5) copies. Application packages should be clearly labeled with the name and number of the RFA as listed on the cover of this RFA document. Applications will not be accepted via fax or e-mail.

* It is the applicant’s responsibility to see that applications are delivered to the address above prior to the date and time specified. Late applications due to a documentable delay by the carrier may be considered at the Department of Health's discretion.

F. Department of Health’s Reserved Rights

The Department of Health reserves the right to:

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http://www.health.ny.gov/funding/

1. Reject any or all applications received in response to this RFA.

2. Withdraw the RFA at any time, at the Department’s sole discretion.

3. Make an award under the RFA in whole or in part.

4. Disqualify any applicant whose conduct and/or proposal fails to conform to the requirements of the RFA.

5. Seek clarifications and revisions of applications.

6. Use application information obtained through site visits, management interviews and the state’s investigation of an applicant’s qualifications, experience, ability or financial standing, and any material or information submitted by the applicant in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFA.

7. Prior to application opening, amend the RFA specifications to correct errors or oversights, or to supply additional information, as it becomes available.

8. Prior to application opening, direct applicants to submit proposal modifications addressing subsequent RFA amendments.

9. Change any of the scheduled dates.

10. Waive any requirements that are not material.

11. Award more than one contract resulting from this RFA.

12. Conduct contract negotiations with the next responsible applicant, should the Department be unsuccessful in negotiating with the selected applicant.

13. Utilize any and all ideas submitted with the applications received.

14. Unless otherwise specified in the RFA, every offer is firm and not revocable for a period of 60 days from the bid opening.

15. Waive or modify minor irregularities in applications received after prior notification to the applicant.

16. Require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offerer’s application and/or to determine an offerer’s compliance with the requirements of the RFA.

17. Negotiate with successful applicants within the scope of the RFA in the best interests of the State.

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18. Eliminate any mandatory, non-material specifications that cannot be complied with by all applicants.

19. Award grants based on geographic or regional considerations to serve the best interests of the state.

G. Term of Contract

Any contract resulting from this RFA will be effective only upon approval by the New York State Office of the Comptroller.

It is anticipated that Health Systems contracts established by this RFA will be single multi-year contracts with a term of four years and nine months (July 1, 2014- March 31, 2019). For budgeting and workplan purposes, the first period is nine months (July 1, 2014- March 31, 2015). The remaining four periods will be 12 months in length beginning April 1, 2015 and ending March 31, 2019.

Continued funding throughout this four-year nine-month period is contingent upon availability of funding and state budget appropriations. DOH also reserves the right to revise the award amount as necessary due to changes in the availability of funding.

H. Payment & Reporting Requirements of Grant Awardees

1. The Department may, at its discretion, make an advance payment to not for profit grant contractors in an amount not to exceed 25 percent of the first nine-month term of the contract.

2. The grant contractor will be required to submit monthly invoices and required reports of expenditures to the State's designated payment office:

Division of Chronic Disease Prevention Fiscal Unit NYS Department of Health Room 1042, Corning Tower Empire State Plaza Albany NY 12237

Grant contractors must provide complete and accurate billing invoices to the Department's designated payment office in order to receive payment. Billing invoices submitted to the Department must contain all information and supporting documentation required by the Contract, the Department and the Office of the State Comptroller (OSC). Payment for invoices submitted by the CONTRACTOR shall only be rendered electronically unless payment by paper check is expressly authorized by the Commissioner, in the Commissioner's sole discretion, due to extenuating circumstances. Such electronic payment shall be made in accordance with OSC’s procedures and practices to authorize electronic payments. Authorization forms are available at OSC’s website at: http://www.osc.state.ny.us/epay/index.htm, by email at: epayments@osc.state.ny.us or by telephone at 855-233-8363. CONTRACTOR acknowledges that it will not receive payment on any claims for reimbursement submitted under this contract if it does not comply with OSC’s electronic payment

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http://www.osc.state.ny.us/epay/index.htmmailto:epayments@osc.state.ny.us

procedures, except where the Commissioner has expressly authorized payment by paper check as set forth above.

Payment of such invoices by the State (NYS Department of Health) shall be made in accordance with Article XI-A of the New York State Finance Law. Contractors will be reimbursed for actual expenses as allowed in the contract budget and workplan.

Invoices must be accompanied by back-up documentation for the following expenditures:

• Equipment purchases greater than $1,000; copy of receipt or invoice with serial number.

• Office technology purchases: copy of receipt or invoice. • Consultants and/or subcontractor: name, hours worked and rate of pay along with a

copy of the invoice. • Media purchases: copy of receipt.

The Department reserves the right to request additional backup documentation at its discretion.

3. The grant contractor will be required to submit the following periodic reports:

• Monthly Activity Reports on a web-based monitoring system. • End of Year Reports on a web-based monitoring system. • Other reports as required by New York State Department of Health Bureau of

Tobacco Control.

All payment and reporting requirements will be detailed in Attachment D of the final NYS Master Grant Contract.

I. Limits on Administrative Expenses and Executive Compensation

Effective July 1, 2013, limitations on administrative expenses and executive compensation contained within Governor Cuomo’s Executive Order #38 and related regulations published by the Department (Part 1002 to 10 NYCRR – Limits on Administrative Expenses and Executive Compensation) went into effect. Applicants agree that all state funds dispersed under this procurement will, if applicable to them, be bound by the terms, conditions, obligations and regulations promulgated by the Department. To provide assistance with compliance regarding Executive Order #38 and the related regulations, please refer to the Executive Order #38 website at: http://executiveorder38.ny.gov.

J. Vendor Identification Number

Effective January 1, 2012, in order to do business with New York State, you must have a vendor identification number. As part of the Statewide Financial System (SFS), the Office of the State Comptroller's Bureau of State Expenditures has created a centralized vendor repository called the New York State Vendor File. In the event of an award and in order to initiate a contract with the New York State Department of Health, vendors must be registered in the New York State Vendor File and have a valid New York State Vendor ID.

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http://executiveorder38.ny.gov/

If already enrolled in the Vendor File, please include the Vendor Identification number on the application cover sheet. If not enrolled, to request assignment of a Vendor Identification number, please submit a New York State Office of the State Comptroller Substitute Form W9, which can be found on-line at: http://www.osc.state.ny.us/vendor_management/issues_guidance.htm.

Additional information concerning the New York State Vendor File can be obtained on-line at: http://www.osc.state.ny.us/vendor_management/index.htm, by contacting the SFS Help Desk at 855-233-8363 or by emailing at helpdesk@sfs.ny.gov.

K. Vendor Responsibility Questionnaire

The New York State Department of Health recommends that vendors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. To enroll in and use the New York State VendRep System, see the VendRep System Instructions available at http://www.osc.state.ny.us/vendrep/vendor_index.htm or go directly to the VendRep system online at https://portal.osc.state.ny.us.

Vendors must provide their New York State Vendor Identification Number when enrolling. To request assignment of a Vendor ID or for VendRep System assistance, contact the Office of the State Comptroller's Help Desk at 866-370-4672 or 518-408-4672 or by email at ciohelpdesk@osc.state.ny.us.

Vendors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website at: http://www.osc.state.ny.us/vendrep/forms_vendor.htm or may contact the Office of the State Comptroller's Help Desk for a copy of the paper form.

Applicants should complete and submit the Vendor Responsibility Attestation (Attachment 7).

L. Vendor Prequalification for Not-for-Profits

Beginning July 31, 2013, all not-for-profit vendors subject to prequalification will be required to prequalify prior to grant application and execution of contracts.

Prequalification is a new statewide process designed to facilitate prompt contracting for not-for-profit vendors. Interested vendors will be asked to submit commonly requested documents, and answer frequently asked questions once. The application requests organizational information about the vendor’s capacity, legal compliance, and integrity.

Not-for-profit vendors subject to prequalification will submit their responses online in the new Grants Gateway, and all information will be stored in a virtual, secured vault. Once a vendor is registered with the system, State agencies will have ready access to the vault, eliminating redundant submissions of such information by the vendor. Not-for-profits will only have to prequalify every three years, with responsibility to keep their information current throughout the three year period. To obtain access to the Grants Gateway, vendors should submit a registration form downloadable on the Grants Reform website at: http://grantsreform.ny.gov/Grantees.

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http://www.osc.state.ny.us/vendor_management/issues_guidance.htmhttp://www.osc.state.ny.us/vendor_management/index.htmmailto:helpdesk@sfs.ny.govhttp://www.osc.state.ny.us/vendrep/vendor_index.htmhttps://portal.osc.state.ny.us/http://www.osc.state.ny.us/vendrep/forms_vendor.htmhttp://grantsreform.ny.gov/Granteesmailto:ciohelpdesk@osc.state.ny.us

M. General Specifications

1. By signing the “Application Form” each applicant attests to its express authority to sign on behalf of the applicant.

2. Contractors will possess, at no cost to the State, all qualifications, licenses and permits to engage in the required business as may be required within the jurisdiction where the work specified is to be performed. Workers to be employed in the performance of this contract will possess the qualifications, training, licenses and permits as may be required within such jurisdiction.

3. Submission of an application indicates the applicant's acceptance of all conditions and terms contained in this RFA, including the terms and conditions of the contract. Any exceptions allowed by the Department during the Question and Answer Phase (Section IV.B.) must be clearly noted in a cover letter attached to the application.

4. An applicant may be disqualified from receiving awards if such applicant or any subsidiary, affiliate, partner, officer, agent or principal thereof, or anyone in its employ, has previously failed to perform satisfactorily in connection with public bidding or contracts.

5. Provisions Upon Default

a. The services to be performed by the Applicant shall be at all times subject to the direction and control of the Department as to all matters arising in connection with or relating to the contract resulting from this RFA.

b. In the event that the Applicant, through any cause, fails to perform any of the terms, covenants or promises of any contract resulting from this RFA, the Department acting for and on behalf of the State, shall thereupon have the right to terminate the contract by giving notice in writing of the fact and date of such termination to the Applicant.

c. If, in the judgement of the Department, the Applicant acts in such a way which is likely to or does impair or prejudice the interests of the State, the Department acting on behalf of the State, shall thereupon have the right to terminate any contract resulting from this RFA by giving notice in writing of the fact and date of such termination to the Contractor. In such case the Contractor shall receive equitable compensation for such services as shall, in the judgement of the State Comptroller, have been satisfactorily performed by the Contractor up to the date of the termination of this agreement, which such compensation shall not exceed the total cost incurred for the work which the Contractor was engaged in at the time of such termination, subject to audit by the State Comptroller.

V. Completing the Application

A. Application Content

Section 1: Executive Summary (2 page limit)

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Provide a summary of the project application, including a confirmation of your agency’s eligibility. This section is not included in the overall final score, but a penalty of five points will be deducted if the executive summary is not provided.

Section 2: Statement of Need (3 page limit) 5 points For Component A applicants, describe local health system policies in the catchment area using the best information available, the current status of compliance with these policies, and opportunities for tobacco control action in the catchment area.

For Component B applicants, describe statewide health systems and policies that would be the focus of the applicant’s work using the best information available, current challenges to successfully completing this work, and opportunities for statewide health systems tobacco control action.

Section 3: Program Plan (10 page limit) 35 points

Describe how the agency will meet each of the required deliverables as described in Section III Project Narrative and Work Plan Deliverables (Page 11-Component A, Page 16-Component B). Clearly describe a logical, achievable plan for organizing, implementing, and accomplishing all of the required project deliverables over the life of the contract. Address the manner in which all of the project deliverables will be met, including subcontracting as appropriate. Propose two timelines, in narrative format, to meet deliverables, with specific details describing activities. One timeline will cover activities for the initial nine month period from 7/1/2014 to 3/31/2015. A second timeline will represent activities that are planned for the period beginning 4/1/2015 and ending 3/31/2019. Fill out a work plan template (Attachment 6) for the 9-month budget period (7/1/14-3/31/15) and a work plan template for an annualized 12-month period (4/1/15-3/31/19), and include in the application as an appendix.

Section 4: Applicant Organization (3 page limit) 20 points

1. Describe the mission and purpose of the agency. How will this initiative support or extend the mission and programs within the applicant agency? Briefly describe the agency’s experience (include number of years of experience) providing the range of services being applied for in this application, including experience with low income, low education, and serious mentally ill populations. If subcontracts are proposed, describe them. How will the agency ensure programmatic accountability? Describe the agency’s experience in conducting health systems change interventions.

2. Describe how the agency will support the health systems change work of the grant contract. 3. Describe an initiative where the agency supported and implemented a health systems change

intervention. 4. Describe the applicant’s capacity to implement environmental, policy, and/or systems change

interventions. If the applicant has previous experience in tobacco control, please describe three examples which demonstrate the agency’s capacity to provide effective environmental, policy and systems change interventions. If the applicant does not have previous experience in tobacco control, please describe three examples which demonstrate the agency’s capacity to provide effective environmental, policy and systems change interventions in another area of public health.

5. Describe the applicant’s capability and resources to ensure timely start-up and implementation of the proposed project.

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Section 5: Staffing Pattern and Qualifications (4 page limit) 20 points

1. Describe the staffing pattern for this project and rationale. Attach an organizational chart as an appendix that shows the location of the proposed grant contract within the organization.

2. Include a job description for the required project coordinator and all other proposed staff including where the positions will be located in the organization’s hierarchy and what professional level and authority will accompany these positions. (May be included as an appendix.)

3. Describe how orientation and supervision of staff will be provided and by whom, including the credentials of the person(s) who will be providing orientation and supervision to the program. Include resumes of the person(s) providing orientation and supervision, if known, (resumes should be included in the appendix and will not count toward page total).

4. If a vacancy were to occur in the coordinator position, please describe how that position would be covered within the organization until the coordinator returned or a new one was hired.

5. Describe the applicant’s current administrative staffing pattern for activities such as payroll, bookkeeping, invoicing, and general tracking of administrative and fiscal controls. Describe the qualifications of key fiscal staff, including a description of the staff’s experience (if any) with monitoring government grant funds.

Section 6: Budget (Use attached budget template) 20 points

Complete a budget using the attached budget template (Attachment 5). Applicants should submit two budgets. Budget 1 is a nine-month budget (July 1, 2014 – March 31, 2015) and Budget 2 is an annualized 12-month budget that will represent the remaining four years. Please see the catchment area listing for a breakout of the funding for the two budget periods. All costs should be reasonable, cost effective, related to the provision of this RFA, and consistent with the work plan. Justification for each cost should be submitted in narrative form, using the Budget template Narrative tab (Attachment 5). For all existing staff, the Budget Narrative should delineate how the percentage of time devoted to this initiative has been determined. THIS FUNDING MAY ONLY BE USED TO EXPAND EXISTING ACTIVITIES OR CREATE NEW ACTIVITIES PURSUANT TO THIS RFA. THESE FUNDS MAY NOT BE USED TO SUPPLANT FUNDS FOR CURRENTLY EXISTING STAFF ACTIVITIES.

Any ineligible budget items will be removed from the budget prior to contracting. The budget amount requested will be reduced to reflect the removal of the ineligible items.

Section 7: Optional Program Components (Optional for Component A ONLY – Does not apply to Component B): (3 page limit) No point value

Optional Component – Local Level Disparity Project

1. If the applicant chooses to pursue the local level disparities activity, describe in detail how you will address reducing tobacco use disparities among a specific sub-population in your catchment area.

2. Identify existing partnerships and/or community infrastructure that will support your proposed activity.

3. Include a timeline for proposed activities.

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Optional Component – Direct Cessation Services

1. If the applicant chooses to pursue the direct cessation services, describe in detail how limited provision of nicotine replacement therapies will be used to incentivize target organizations to increase cooperation and collaboration.

2. Identify how these services can be used to increase reach with disparate populations that are the focus of this RFA.

3. Describe how direct cessation services will be strategically implemented to support the delivery of tobacco dependence treatment.

4. Include a timeline for proposed activities.

Funding resulting from this RFA will NOT be used for:

• Lobbying, • Subcontracting out major components of the work plan. Subcontracting may be allowed for

specific tasks (see Who May Apply), • A substitute for tobacco industry sponsorship for events or organizations • Provision of direct tobacco prevention or treatment services of any kind including:

o The provision of primary tobacco prevention educational endeavors including health fairs and classroom prevention,

o Community-based cessation classes and/or services, o School-based cessation classes and/or services, o General teaching or counseling positions or services.

• Smoke-free pledges to reduce exposure to environmental tobacco smoke (ETS) in homes and vehicles,

• Creation or purchase of any TV, print or radio ads without prior approval from the Department,

• Purchase of “gear” items without prior approval from the Department, • Execution of any single event with a cost in excess of $1,000 without prior approval from the

Department.

Administrative costs are limited to a maximum of 10% of the total budget using the following calculation: Total budget / (1 + .10) = Remaining budget. The difference is reserved for administrative costs.

Applicants should review established NYS travel and lodging rates when calculating travel and lodging costs. Reimbursement for travel and lodging will not exceed the stated standard agency rate and in no case will exceed the approved NYS rates (see www.osc.state.ny.us/agencies/travel/reimbrate.htm.)

Applications should consider the size of the catchment area when calculating travel costs.

B. Application Format

ALL APPLICATIONS SHOULD CONFORM TO THE FORMAT PRESCRIBED BELOW. UP TO 3POINTS WILL BE DEDUCTED FROM APPLICATIONS WHICH DEVIATE FROM THE PRESCRIBED FORMAT.

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http://www.osc.state.ny.us/agencies/travel/reimbrate.htm

Applications should not exceed 29 single-spaced typed pages for Component A or 26 single-

spaced typed pages for Component B (page count includes the Application Cover Sheet, Check

List, Table of Contents, Tobacco-Free Policies Attestation form) (budget pages, workplan and

other attachments do not count in page total), using a Times New Roman 12-point font.

Applicants must adhere to page limits within each section. Any pages exceeding the limit will

not be reviewed. The value assigned to each section is an indication of the relative weight that

will be given when scoring your application. The use of binders, folders or any similar binding method is prohibited. Clips or rubber bands are allowable. The original should be clearly marked as such and contain original signatures where applicable.

Page Order

Page 1--Application Cover Sheet (Attachment 4) Page 2–Check List (Attachment 3) Page 3--Table of Contents Page 4--Signed Tobacco-Free Policies Attestation form (Attachment 9)

Content Area Page Maximum Point Value 1. Executive Summary 2 pages Not Scored (however 5 2. Statement of Need 3 pages point deduction if not

included) 5 points

3. Program Plan 10 pages 35 points 4. Applicant Organization 3 pages 20 points 5. Staffing Pattern and 4 pages 20 points

Qualifications 6. Budget and Narrative (use Budget Forms) 20 points 7. Optional Program Components 3 pages Not Scored

(For Component A Only)

C. Review & Award Process

Applications meeting the guidelines set forth above will be reviewed and evaluated competitively by the Department’s Division of Chronic Disease Prevention, Bureau of Tobacco Control.

In the event of a tie score, the determining factors for a grant award, in descending order of importance will be: • Applicant with the highest score in the Program Plan section • Number of years of experience working with health systems to improve quality of care

Applications failing to provide all response requirements or failing to follow the prescribed format may be removed from consideration or points may be deducted.

The Department seeks to provide these services in every catchment area. One award will be made per catchment area. Applications must receive a score of at least 60 in order to receive funding. The highest scoring approved applicant in a catchment area will be funded. Applications will be deemed to fall in one of three categories: 1) not approved, 2) approved but

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not funded due to resources, 3) approved and funded.

In the event that there are no successful applicants in a catchment area, neighboring catchment areas will be asked to include those counties in their services. Available funding for the catchment area will be divided evenly among the counties and awarded to the successful applicant(s) in neighboring catchment areas willing to provide the additional service coverage. If any counties remain uncovered after this process, then the Department reserves the right to choose between leaving the county uncovered or re-procuring the county or re-procuring the entire catchment area. In case of default or relinquishment of the contract, the Department reserves the right to assign the contract to an existing contractor in a contiguous catchment area as described above.

If changes in funding amounts are necessary for this initiative, funding will be modified and awarded in the same manner as outlined in the award process described above.

Once an award has been made, applicants may request a debriefing of their application. Please note the debriefing will be limited only to the strengths and weaknesses of the subject application and will not include any discussion of other applications. Requests must be received no later than ten (10) business days from date of award or non-award announcement.

In the event unsuccessful applicants wish to protest the award resulting from this RFA, applicants should follow the protest procedures established by the Office of the State Comptroller (OSC). These procedures can be found on the OSC website at http://www.osc.state.ny.us/agencies/guide/MyWebHelp.

VI. Attachments

Attachment 1: NYS Master Grant Contract with Attachments Attachment 2: Letter of Interest Format Attachment 3: Application Checklist Attachment 4: Application Cover Sheet Attachment 5: Budget Template/Instructions Attachment 6a: Component A Work Plan Template (9 and 12 months) Attachment 6b: Component B Work Plan Template (9 and 12 months) Attachment 7: Vendor Responsibility Attestation

BTC Specific Attachments

Attachment 8: Bureau of Tobacco Control Strategic Plan Attachment 9: Tobacco-Free Policies Attestation Attachment 10: BTC Statewide Catchment Area Map

Page 29 of 29

http://www.osc.state.ny.us/agencies/guide/MyWebHelp

Attachments for Health Systems for a Tobacco-Free NY

Bureau of Tobacco Control

Request for Applications #1306271049

Attachments

Attachment 1: Attachment 2: Attachment 3: Attachment 4: Attachment 5: Attachment 6:

Attachment 7:

NYS Master Grant Contract Letter of Interest Format Application Checklist Application Coversheet Budget Template/Instructions a. Component A Work Plan Template (9 and 12 months) b. Component B Work Plan Template (9 and 12 months) Vendor Responsibility Attestation

BTC Specific Attachments

Attachment 8:

Attachment 9: Attachment 10:

Bureau of Tobacco Control Strategic Plan (an electronic attachment on the DOH website) Tobacco-Free Policies Attestation BTC Statewide Catchment Area Map

Attachment 1

NYS Master Grant Contract

STATE OF NEW YORK MASTER CONTRACT FOR GRANTS FACE PAGE

STATE AGENCY (Name & Address): BUSINESS UNIT/DEPT. ID:

CONTRACT NUMBER:

CONTRACT TYPE: Multi-Year Agreement Simplified Renewal Agreement Fixed Term Agreement

CONTRACTOR SFS PAYEE NAME: TRANSACTION TYPE: New Renewal Amendment

CONTRACTOR DOS INCORPORATED NAME: PROJECT NAME:

CONTRACTOR IDENTIFICATION NUMBERS: AGENCY IDENTIFIER:

NYS Vendor ID Number:Federal Tax ID Number:DUNS Number (if applicable):

CONTRACTOR PRIMARY MAILING ADDRESS: CONTRACTOR STATUS:

For Profit Municipality, Code: Tribal Nation

CONTRACTOR PAYMENT ADDRESS: Individual Check if same as primary mailing address Not-for-Profit

Charities Registration Number:

CONTRACT MAILING ADDRESS: Exemption Status/Code: Check if same as primary mailing address

Sectarian Entity

CFDA NUMBER (Federally Funded Grants Only):

Contract Number: #________________Page 1 of 2Master Grant Contract, Face Page

STATE OF NEW YORK MASTER CONTRACT FOR GRANTS FACE PAGECURRENT CONTRACT TERM: CONTRACT FUNDING AMOUNT

From: To:

CURRENT CONTRACT PERIOD:CURRENT:

From: To:AMENDED:

AMENDED TERM:FUNDING SOURCE(S)

From: To: State

AMENDED PERIOD: Federal Other

From: To:

FOR MULTI-YEAR AGREEMENTS ONLY - CONTRACT PERIOD AND FUNDING AMOUNT:(Out years represent projected funding amounts)

#12345

ATTACHMENTS PART OF THIS AGREEMENT:

Attachment A: A-1 Program Speci